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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
------------
SCHEDULE 13G
(Amendment No. 5)*
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO
RULES 13d-1 (b), (c) AND (d) AND AMENDMENTS THERETO
FILED PURSUANT TO 13d-2 (b)
RIGEL PHARMACEUTICALS, INC.
--------------------------------------------------------------------------------
(Name of Issuer)
Common Stock
--------------------------------------------------------------------------------
(Title of Class of Securities)
766559108
--------------------------------------------------------------------------------
(CUSIP Number)
April 29, 2003
--------------------------------------------------------------------------------
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule
is filed:
|_| Rule 13d-1(b)
|X| Rule 13d-1(c)
|_| Rule 13d-1(d)
* The remainder of this cover page shall be filled out for a reporting person's
initial filing on this form with respect to the subject class of securities, and
for any subsequent amendment containing information which would alter the
disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed
to be "filed" for the purpose of Section 18 of the Securities Exchange Act of
1934 ("Act") or otherwise subject to the liabilities of that section of the Act
but shall be subject to all other provisions of the Act (however, see the
Notes).
Page 1 of 18 pages
CUSIP No. 766559108 Page 2 of 18 Pages
--------------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Alta Partners
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) |_|
(b) |X|
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
California
--------------------------------------------------------------------------------
Please see Attachment A
5 SOLE VOTING POWER
-0-
--------------------------------------------------------
NUMBER OF 6 SHARED VOTING POWER
SHARES 2,210,601
BENEFICIALLY Please see Attachment A & Footnote 1
OWNED BY --------------------------------------------------------
EACH 7 SOLE DISPOSITIVE POWER
REPORTING
PERSON -0-
WITH --------------------------------------------------------
8 SHARED DISPOSITIVE POWER
2,210,601
Please see Attachment A & Footnote 1
--------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,210,601
------------------------Please see Attachment A and Footnote 1------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
|_|
--------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
16.8%
--------------------------Please see Attachment A-------------------------------
12 TYPE OF REPORTING PERSON*
IA
--------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
Footnote 1: Includes the 1,950,184 shares of Common Stock and Warrants to
purchase 260,417 shares of Common Stock held by the funds
affiliated with Alta Partners and Alta Partners II. These numbers
reflect the 1:9 Reverse Stock Split that was effective 6/26/03.
See Attachment A.
CUSIP No. 766559108 Page 3 of 18 Pages
--------------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Alta Partners II, Inc.
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) |_|
(b) |X|
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
California
--------------------------------------------------------------------------------
Please see Attachment A
5 SOLE VOTING POWER
-0-
--------------------------------------------------------
NUMBER OF 6 SHARED VOTING POWER
SHARES 2,210,601
BENEFICIALLY Please see Attachment A and Footnote 2
OWNED BY --------------------------------------------------------
EACH 7 SOLE DISPOSITIVE POWER
REPORTING
PERSON -0-
WITH --------------------------------------------------------
8 SHARED DISPOSITIVE POWER
2,210,601
Please see Attachment A and Footnote 2
--------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,210,601
------------------------Please see Attachment A and Footnote 2------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
|_|
--------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
16.8%
--------------------------Please see Attachment A-------------------------------
12 TYPE OF REPORTING PERSON*
IA
--------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
Footnote 2: Includes the 1,950,184 shares of Common Stock and Warrants to
purchase 260,417 shares of Common Stock held by the funds
affiliated with Alta Partners and Alta Partners II. These numbers
reflect the 1:9 Reverse Stock Split that was effective 6/26/03.
See Attachment A.
CUSIP No. 766559108 Page 4 of 18 Pages
--------------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Alta California Partners, L. P.
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) |_|
(b) |X|
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
--------------------------------------------------------------------------------
Please see Attachment A
5 SOLE VOTING POWER
-0-
--------------------------------------------------------
NUMBER OF 6 SHARED VOTING POWER
SHARES 2,210,601
BENEFICIALLY Please see Attachment A & Footnote 3
OWNED BY --------------------------------------------------------
EACH 7 SOLE DISPOSITIVE POWER
REPORTING
PERSON -0-
WITH --------------------------------------------------------
8 SHARED DISPOSITIVE POWER
2,210,601
Please see Attachment A & Footnote 3
--------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,210,601
------------------------Please see Attachment A and Footnote 3------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
|_|
--------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
16.8%
--------------------------Please see Attachment A-------------------------------
12 TYPE OF REPORTING PERSON*
PN
--------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
Footnote 3: Includes the 1,950,184 shares of Common Stock and Warrants to
purchase 260,417 shares of Common Stock held by the funds
affiliated with Alta Partners and Alta Partners II. These numbers
reflect the 1:9 Reverse Stock Split that was effective 6/26/03.
See Attachment A.
CUSIP No. 766559108 Page 5 of 18 Pages
--------------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Alta California Management Partners, L. P.
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) |_|
(b) |X|
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
--------------------------------------------------------------------------------
Please see Attachment A
5 SOLE VOTING POWER
-0-
--------------------------------------------------------
NUMBER OF 6 SHARED VOTING POWER
SHARES 2,210,601
BENEFICIALLY Please see Attachment A & Footnote 4
OWNED BY --------------------------------------------------------
EACH 7 SOLE DISPOSITIVE POWER
REPORTING
PERSON -0-
WITH --------------------------------------------------------
8 SHARED DISPOSITIVE POWER
2,210,601
Please see Attachment A & Footnote 4
--------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,210,601
------------------------Please see Attachment A and Footnote 4------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
|_|
--------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
16.8%
--------------------------Please see Attachment A-------------------------------
12 TYPE OF REPORTING PERSON*
PN
--------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
Footnote 4: Includes the 1,950,184 shares of Common Stock and Warrants to
purchase 260,417 shares of Common Stock held by the funds
affiliated with Alta Partners and Alta Partners II. These numbers
reflect the 1:9 Reverse Stock Split that was effective 6/26/03.
See Attachment A.
CUSIP No. 766559108 Page 6 of 18 Pages
--------------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Alta Embarcadero Partners, LLC
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) |_|
(b) |X|
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
California
--------------------------------------------------------------------------------
Please see Attachment A
5 SOLE VOTING POWER
-0-
--------------------------------------------------------
NUMBER OF 6 SHARED VOTING POWER
SHARES 2,210,601
BENEFICIALLY Please see Attachment A & footnote 5
OWNED BY --------------------------------------------------------
EACH 7 SOLE DISPOSITIVE POWER
REPORTING
PERSON -0-
WITH --------------------------------------------------------
8 SHARED DISPOSITIVE POWER
2,210,601
Please see Attachment A & footnote 5
--------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,210,601
------------------------Please see Attachment A and Footnote 5------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
|_|
--------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
16.8%
--------------------------Please see Attachment A-------------------------------
12 TYPE OF REPORTING PERSON*
CO
--------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
Footnote 5: Includes the 1,950,184 shares of Common Stock and Warrants to
purchase 260,417 shares of Common Stock held by the funds
affiliated with Alta Partners and Alta Partners II. These numbers
reflect the 1:9 Reverse Stock Split that was effective 6/26/03.
See Attachment A.
CUSIP No. 766559108 Page 7 of 18 Pages
--------------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Alta BioPharma Partners II, L.P.
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) |_|
(b) |X|
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
--------------------------------------------------------------------------------
Please see Attachment A
5 SOLE VOTING POWER
-0-
--------------------------------------------------------
NUMBER OF 6 SHARED VOTING POWER
SHARES 2,210,601
BENEFICIALLY Please see Attachment A & Footnote 6
OWNED BY --------------------------------------------------------
EACH 7 SOLE DISPOSITIVE POWER
REPORTING
PERSON -0-
WITH --------------------------------------------------------
8 SHARED DISPOSITIVE POWER
2,210,601
Please see Attachment A & Footnote 6
--------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,210,601
------------------------Please see Attachment A and Footnote 6------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
|_|
--------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
16.8%
--------------------------Please see Attachment A-------------------------------
12 TYPE OF REPORTING PERSON*
PN
--------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
Footnote 6: Includes the 1,950,184 shares of Common Stock and Warrants to
purchase 260,417 shares of Common Stock held by the funds
affiliated with Alta Partners and Alta Partners II. These numbers
reflect the 1:9 Reverse Stock Split that was effective 6/26/03.
See Attachment A.
CUSIP No. 766559108 Page 8 of 18 Pages
--------------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Alta BioPharma Management Partners II, LLC.
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) |_|
(b) |X|
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
--------------------------------------------------------------------------------
Please see Attachment A
5 SOLE VOTING POWER
-0-
--------------------------------------------------------
NUMBER OF 6 SHARED VOTING POWER
SHARES 2,210,601
BENEFICIALLY Please see Attachment A & footnote 7
OWNED BY --------------------------------------------------------
EACH 7 SOLE DISPOSITIVE POWER
REPORTING
PERSON -0-
WITH --------------------------------------------------------
8 SHARED DISPOSITIVE POWER
2,210,601
Please see Attachment A & footnote 7
--------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,210,601
------------------------Please see Attachment A and Footnote 7------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
|_|
--------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
16.8%
--------------------------Please see Attachment A-------------------------------
12 TYPE OF REPORTING PERSON*
CO
--------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
Footnote 7: Includes the 1,950,184 shares of Common Stock and Warrants to
purchase 260,417 shares of Common Stock held by the funds
affiliated with Alta Partners and Alta Partners II. These numbers
reflect the 1:9 Reverse Stock Split that was effective 6/26/03.
See Attachment A.
CUSIP No. 766559108 Page 9 of 18 Pages
--------------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Alta Embarcadero BioPharma Partners II, LLC.
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) |_|
(b) |X|
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
--------------------------------------------------------------------------------
Please see Attachment A
5 SOLE VOTING POWER
-0-
--------------------------------------------------------
NUMBER OF 6 SHARED VOTING POWER
SHARES 2,210,601
BENEFICIALLY Please see Attachment A & footnote 8
OWNED BY --------------------------------------------------------
EACH 7 SOLE DISPOSITIVE POWER
REPORTING
PERSON -0-
WITH --------------------------------------------------------
8 SHARED DISPOSITIVE POWER
2,210,601
Please see Attachment A & footnote 8
--------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,210,601
------------------------Please see Attachment A and Footnote 8------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
|_|
--------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
16.8%
--------------------------Please see Attachment A-------------------------------
12 TYPE OF REPORTING PERSON*
CO
--------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
Footnote 8: Includes the 1,950,184 shares of Common Stock and Warrants to
purchase 260,417 shares of Common Stock held by the funds
affiliated with Alta Partners and Alta Partners II. These numbers
reflect the 1:9 Reverse Stock Split that was effective 6/26/03.
See Attachment A.
CUSIP No. 766559108 Page 10 of 18 Pages
--------------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Farah Champsi
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) |_|
(b) |X|
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
--------------------------------------------------------------------------------
Please see Attachment A
5 SOLE VOTING POWER
-0-
--------------------------------------------------------
NUMBER OF 6 SHARED VOTING POWER
SHARES 1,481,943
BENEFICIALLY Please see Attachment A & footnote 9
OWNED BY --------------------------------------------------------
EACH 7 SOLE DISPOSITIVE POWER
REPORTING
PERSON -0-
WITH --------------------------------------------------------
8 SHARED DISPOSITIVE POWER
1,481,943
Please see Attachment A & footnote 9
--------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,481,943
------------------------Please see Attachment A and Footnote 9------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
|_|
--------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
11.3%
--------------------------Please see Attachment A-------------------------------
12 TYPE OF REPORTING PERSON*
IN
--------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
Footnote 9: Includes the 1,256,249 shares of Common Stock and Warrants to
purchase 225,694 shares of Common Stock held by the funds
affiliated with Alta Partners II. These numbers reflect the 1:9
Reverse Stock Split that was effective 6/26/03. See Attachment A.
CUSIP No. 766559108 Page 11 of 18 Pages
--------------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Jean Deleage
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) |_|
(b) |X|
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
--------------------------------------------------------------------------------
Please see Attachment A
5 SOLE VOTING POWER
2,779
--------------------------------------------------------
NUMBER OF 6 SHARED VOTING POWER
SHARES 2,210,601
BENEFICIALLY Please see Attachment A & footnote 10
OWNED BY --------------------------------------------------------
EACH 7 SOLE DISPOSITIVE POWER
REPORTING
PERSON 2,779
WITH --------------------------------------------------------
8 SHARED DISPOSITIVE POWER
2,210,601
Please see Attachment A & footnote 10
--------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,213,380
------------------------Please see Attachment A and Footnote 10-----------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
|_|
--------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
16.8%
--------------------------Please see Attachment A-------------------------------
12 TYPE OF REPORTING PERSON*
IN
--------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
Footnote 10: Includes the 1,950,184 shares of Common Stock, Warrants to
purchase 260,417 shares of Common Stock, and Stock Options for
2,779 shares of Common Stock. These numbers reflect the 1:9
Reverse Stock Split that was effective 6/26/03. See Attachment A.
CUSIP No. 766559108 Page 12 of 18 Pages
--------------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Garrett Gruener
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) |_|
(b) |X|
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
--------------------------------------------------------------------------------
Please see Attachment A
5 SOLE VOTING POWER
-0-
--------------------------------------------------------
NUMBER OF 6 SHARED VOTING POWER
SHARES 728,658
BENEFICIALLY Please see Attachment A & footnote 11
OWNED BY --------------------------------------------------------
EACH 7 SOLE DISPOSITIVE POWER
REPORTING
PERSON -0-
WITH --------------------------------------------------------
8 SHARED DISPOSITIVE POWER
728,658
Please see Attachment A & footnote 11
--------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
728,658
------------------------Please see Attachment A and Footnote 11-----------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
|_|
--------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
5.5%
--------------------------Please see Attachment A-------------------------------
12 TYPE OF REPORTING PERSON*
IN
--------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
Footnote 11: Includes the 693,935 shares of Common Stock and Warrants to
purchase 34,723 shares of Common Stock held by the funds
affiliated with Alta Partners. These numbers reflect the 1:9
Reverse Stock Split that was effective 6/26/03. See Attachment A.
CUSIP No. 766559108 Page 13 of 18 Pages
--------------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Alix Marduel
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) |_|
(b) |X|
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
--------------------------------------------------------------------------------
Please see Attachment A
5 SOLE VOTING POWER
-0-
--------------------------------------------------------
NUMBER OF 6 SHARED VOTING POWER
SHARES 1,481,943
BENEFICIALLY Please see Attachment A & footnote 12
OWNED BY --------------------------------------------------------
EACH 7 SOLE DISPOSITIVE POWER
REPORTING
PERSON -0-
WITH --------------------------------------------------------
8 SHARED DISPOSITIVE POWER
1,481,943
Please see Attachment A & footnote 12
--------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,481,943
------------------------Please see Attachment A and Footnote 12-----------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
|_|
--------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
11.3%
--------------------------Please see Attachment A-------------------------------
12 TYPE OF REPORTING PERSON*
IN
--------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
Footnote 12: Includes the 1,256,249 shares of Common Stock and Warrants to
purchase 225,694 shares of Common Stock held by the funds
affiliated with Alta Partners II. These numbers reflect the 1:9
Reverse Stock Split that was effective 6/26/03. See Attachment A.
CUSIP No. 766559108 Page 14 of 18 Pages
--------------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Guy Nohra
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) |_|
(b) |X|
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
--------------------------------------------------------------------------------
Please see Attachment A
5 SOLE VOTING POWER
-0-
--------------------------------------------------------
NUMBER OF 6 SHARED VOTING POWER
SHARES 728,658
BENEFICIALLY Please see Attachment A & footnote 13
OWNED BY --------------------------------------------------------
EACH 7 SOLE DISPOSITIVE POWER
REPORTING
PERSON -0-
WITH --------------------------------------------------------
8 SHARED DISPOSITIVE POWER
728,658
Please see Attachment A & footnote 13
--------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
728,658
------------------------Please see Attachment A and Footnote 13-----------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
|_|
--------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
5.5%
--------------------------Please see Attachment A-------------------------------
12 TYPE OF REPORTING PERSON*
IN
--------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
Footnote 13: Includes the 693,935 shares of Common Stock and Warrants to
purchase 34,723 shares of Common Stock held by the funds
affiliated with Alta Partners. These numbers reflect the 1:9
Reverse Stock Split that was effective 6/26/03. See Attachment A.
Item 1.
(a) Name of Issuer: Rigel Pharmaceuticals, Inc. ("Issuer")
(b) Address of Issuer's Principal Executive Offices:
1180 Veterans Boulevard
South San Francisco, CA 94080
Item 2.
(a) Name of Person Filing:
Alta Partners ("AP")
Alta Partners II, Inc. ("AP II")
Alta California Partners, L.P. ("ACP")
Alta California Management Partners, L.P. ("ACMP")
Alta Embarcadero Partners, LLC ("AEP")
Alta BioPharma Partners II, L.P. ("ABP II")
Alta BioPharma Management Partners II, LLC ("ABMP II")
Alta Embarcadero BioPharma Partners II, LLC ("AEBP II")
Farah Champsi ("FC")
Jean Deleage ("JD")
Garrett Gruener ("GG")
Alix Marduel ("AM")
Guy Nohra ("GN")
(b) Address of Principal Business Office:
One Embarcadero Center, Suite 4050
San Francisco, CA 94111
(c) Citizenship/Place of Organization:
Entities: AP California
AP II California
ACP Delaware
ACMP Delaware
AEP California
ABP II Delaware
ABMP II Delaware
AEBP II California
Individuals: FC United States
JD United States
GG United States
AM United States
GN United States
(d) Title of Class of Securities: Common Stock
(e) CUSIP Number: 766559108
Item 3. Not applicable.
Item 4. Ownership.
Please see Attachment A
The numbers listed below reflect the 1:9 Reverse Stock Split effective June 26, 2003.
------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ -------------
AP AP II ACP ACMP AEP ABP II ABMP II
------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ -------------
(a) Beneficial 2,210,601 2,210,601 2,210,601 2,210,601 2,210,601 2,210,601 2,210,601
Ownership
------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ -------------
(b) Percentage of 16.8% 16.8% 16.8% 16.8% 16.8% 16.8% 16.8%
Class
------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ -------------
(c) Sole Voting Power -0- -0- -0- -0- -0- -0- -0-
------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ -------------
Shared Voting 2,210,601 2,210,601 2,210,601 2,210,601 2,210,601 2,210,601 2,210,601
Power
------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ -------------
Sole Dispositive -0- -0- -0- -0- -0- -0- -0-
Power
------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ -------------
Shared 2,210,601 2,210,601 2,210,601 2,210,601 2,210,601 2,210,601 2,210,601
Dispositive Power
------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ -------------
AEBP II FC JD GG AM GN
------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ -------------
(a) Beneficial 19,895,423 15,212,500 19,905,423 4,682,923 15,212,500 4,682,923
Ownership
------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ -------------
(b) Percentage of 16.5% 12.7% 16.5% 4.8% 12.7% 4.8%
Class
------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ -------------
(c) Sole Voting Power -0- -0- 10,000 -0- -0- -0-
------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ -------------
Shared Voting 19,895,423 15,212,500 19,895,423 4,682,923 15,212,500 4,682,923
Power
------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ -------------
Sole Dispositive -0- -0- 10,000 -0- -0- -0-
Power
------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ -------------
Shared 19,895,423 15,212,500 19,895,423 4,682,923 15,212,500 4,682,923
Dispositive Power
------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ -------------
Please see Attachment A
Item 5. Ownership of Five Percent or Less of a Class
Not Applicable.
Item 6. Ownership of More than Five Percent on Behalf of Another Person
Not applicable.
Item 7. Identification and Classification of the Subsidiary Which Acquired the
Security Being Reported on By the Parent Holding Company.
Not applicable.
Item 8. Identification and Classification of Members of the Group
No reporting person is a member of a group as defined in Section
240.13d-1(b)(1)(ii)(H) of the Act.
Item 9. Notice of Dissolution of Group
Not applicable.
Item 10. Certification
By signing below we certify that, to the best of our knowledge and belief, the
securities referred to above were acquired and are held in the ordinary course
of business and were not acquired and are not held for the purpose of or with
the effect of changing or influencing the control of the issuer of the
securities and were not acquired and are not held in connection with or as a
participant in any transaction having that purpose or effect.
EXHIBITS
A: Joint Filing Statement
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true, complete and
correct.
Date: July 2, 2003
ALTA PARTNERS ALTA CALIFORNIA PARTNERS, L.P.
By: Alta California Management Partners, L.P.,
By: /s/ Jean Deleage By: /s/ Jean Deleage
-------------------------------------- --------------------------------------
Jean Deleage, President Jean Deleage, General Partner
ALTA CALIFORNIA MANAGEMENT PARTNERS, L.P. ALTA EMBARCADERO PARTNERS, LLC
By: /s/ Jean Deleage By: /s/ Jean Deleage
-------------------------------------- --------------------------------------
Jean Deleage, General Partner Jean Deleage, Member
ALTA PARTNERS II, INC.
By: /s/ Jean Deleage
--------------------------------------
Jean Deleage, President
ALTA BIOPHARMA PARTNERS II, L.P. ALTA BIOPHARMA MANAGEMENT PARTNERS II, LLC
By: Alta BioPharma Management Partners II, LLC
By: /s/ Farah Champsi By: /s/ Farah Champsi
-------------------------------------- --------------------------------------
Farah Champsi, Managing Director Farah Champsi, Member
ALTA EMBARCADERO BIOPHARMA PARTNERS II, LLC
By: /s/ Farah Champsi /s/ Alix Marduel
-------------------------------------- --------------------------------------
Farah Champsi, Manager Alix Marduel
/s/ Jean Deleage /s/ Guy Nohra
-------------------------------------- --------------------------------------
Jean Deleage Guy Nohra
/s/ Garrett Gruener /s/ Farah Champsi
-------------------------------------- --------------------------------------
Garrett Gruener Farah Champsi
EXHIBIT A
AGREEMENT OF JOINT FILING
Date: July 2, 2003
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true, complete and
correct.
ALTA PARTNERS ALTA CALIFORNIA PARTNERS, L.P.
By: Alta California Management Partners, L.P.,
By: /s/ Jean Deleage By: /s/ Jean Deleage
-------------------------------------- --------------------------------------
Jean Deleage, President Jean Deleage, General Partner
ALTA CALIFORNIA MANAGEMENT PARTNERS, L.P. ALTA EMBARCADERO PARTNERS, LLC
By: /s/ Jean Deleage By: /s/ Jean Deleage
-------------------------------------- --------------------------------------
Jean Deleage, General Partner Jean Deleage, Member
ALTA PARTNERS II, INC.
By: /s/ Jean Deleage
--------------------------------------
Jean Deleage, President
ALTA BIOPHARMA PARTNERS II, L.P. ALTA BIOPHARMA MANAGEMENT PARTNERS II, LLC
By: Alta BioPharma Management Partners II, LLC
By: /s/ Farah Champsi By: /s/ Farah Champsi
-------------------------------------- --------------------------------------
Farah Champsi, Managing Director Farah Champsi, Member
ALTA EMBARCADERO BIOPHARMA PARTNERS II, LLC
By: /s/ Farah Champsi /s/ Alix Marduel
-------------------------------------- --------------------------------------
Farah Champsi, Manager Alix Marduel
/s/ Jean Deleage /s/ Guy Nohra
-------------------------------------- --------------------------------------
Jean Deleage Guy Nohra
/s/ Garrett Gruener /s/ Farah Champsi
-------------------------------------- --------------------------------------
Garrett Gruener Farah Champsi
Attachment A
On June 26, 2003, the funds affiliated with Alta Partners and Alta Partners II,
Inc. purchased 1,302,083 shares of Common Stock and Warrants to purchase of
260,417 shares of Common Stock, in accordance with the terms of the Rigel
Pharmaceuticals, Inc. Common Stock and Warrant Purchase Agreement that was
signed April 29, 2003. Effective June 26, 2003, there was a 1:9 Reverse Stock
Split of Common Stock. The numbers of shares listed on this attachment reflect
the reverse stock split.
Alta Partners II, Inc. provides investment advisory services to several venture
capital funds including Alta BioPharma Partners II, L.P. and Alta Embarcadero
BioPharma Partners II, LLC. On June 26, 2003, Alta BioPharma Partners II, L.P.
purchased 1,088,432 shares of Common Stock and Warrants to purchase 217,686
shares of Common Stock for an aggregate purchase price of $6,269,451.32, and
Alta Embarcadero BioPharma Partners II, LLC purchased 40,040 shares of Common
Stock and warrants to purchase 8,008 shares of Common Stock for the aggregate
purchase price of $230,633.40. As of June 26, 2003, Alta BioPharma Partners II,
L.P. beneficially owns 1,211,676 shares of Common Stock and warrants to purchase
217,686 shares of Common stock. Alta Embarcadero BioPharma Partners II, LLC
beneficially owns 44,573 shares Common Stock and Warrants to purchase 8,008
shares of Common Stock. The managing directors of Alta BioPharma Partners II,
L.P. and managers of Alta Embarcadero BioPharma Partners II, LLC exercise sole
voting and investment power in respect to the shares owned by such funds.
Certain principals of Alta Partners II, Inc. are managing directors of Alta
BioPharma Management II, LLC (which is the general partner of Alta BioPharma
Partners II, L.P.), and managers of Alta Embarcadero BioPharma Partners II, LLC.
As managing directors and managers of such entities, they may be deemed to share
voting and investment powers over the shares beneficially held by the funds. The
principals of Alta Partners II, Inc. disclaim beneficial ownership of all such
shares held by the foregoing funds, except to the extent of their proportionate
pecuniary interests therein.
Alta Partners provides investment advisory services to several venture capital
funds including Alta California Partners, L.P. and Alta Embarcadero Partners,
LLC. On June 26, 2003, Alta California Partners, L.P. purchased 169,733 shares
of Common Stock and Warrants to purchase 33,947 shares of Common Stock for an
aggregate purchase price of $977,675.08. Alta Embarcadero Partners, LLC
purchased 3,878 shares of Common Stock and Warrants to purchase 776 shares of
Common Stock for an aggregate purchase price of $22,338.28. As of June 26, 2003,
Alta California Partners, L.P. beneficially owns 678,436 shares of Common Stock
and Warrants to purchase 33,947 shares of Common Stock. Alta Embarcadero
Partners, LLC beneficially owns 15,499 shares of Common Stock and Warrants to
purchase 776 shares of Common Stock. The respective general partners and members
of Alta California Partners L.P. and Alta Embarcadero Partners, LLC exercise
sole voting and investment power with respect to the shares owned by such funds.
Certain principals of Alta Partners are general partners of Alta California
Management Partners, L.P. (which is a general partner of Alta California
Partners, L.P.), and members Alta Embarcadero Partners, LLC. As general partners
and members of such funds, they may be deemed to share voting and investment
powers over the shares held by the funds. The principals of Alta Partners
disclaim beneficial ownership of all such shares held by the foregoing funds,
except to the extent of their proportionate pecuniary interests therein.
On June 26, 2003, Mr. Jean Deleage, a director of Rigel Pharmaceuticals, Inc.,
was granted stock options to purchase 1,667 shares of Common Stock. In addition,
he holds options for 556 shares of Common Stock granted on June 20, 2002 and
options for 556 shares of Common Stock granted on July 19, 2001. The options
vest 1/24th per month over a two-year period commencing on the date of grant.
Mr. Deleage is a managing director of Alta BioPharma Management Partners II, LLC
(which is the general partner of Alta BioPharma Partners II, L.P.), a manager of
Alta Embarcadero BioPharma Partners II, LLC, a general partner of Alta
California Management Partners, L.P. (which is the general partner of Alta
California Partners, L.P.), and a member of Alta Embarcadero Partners, LLC. Thus
he currently shares voting and dispositive powers over the 1,429,362 shares of
Common Stock beneficially owned by Alta BioPharma Partners II, L.P., the 52,581
shares of Common Stock beneficially owned by Alta Embarcadero BioPharma Partners
II, LLC, the 712,383 shares of Common Stock beneficially owned by Alta
California Partners L.P. and the 16,275 shares of Common Stock beneficially
owned by Alta Embarcadero Partners,
Page 1 of 2 of Attachment A
Attachment A (continued)
LLC. He disclaims beneficial ownership of all such shares held by all of the
foregoing funds except to the extent of his proportionate pecuniary interests
therein.. The numbers listed above reflect the 1:9 Reverse Stock Split that
became effective June 26, 2003.
Ms. Farah Champsi is a managing director of Alta BioPharma Management Partners
II, LLC (which is the general partner of Alta BioPharma Partners II, L.P.) and a
manager of Alta Embarcadero BioPharma Partners II, LLC. Thus she currently
shares voting and dispositive powers over the 1,429,362 shares of Common Stock
beneficially owned by Alta BioPharma Partners II, L.P. and the 52,581 shares of
Common Stock beneficially owned by Alta Embarcadero BioPharma Partners II, LLC.
She disclaims beneficial ownership of all such shares held by all of the
foregoing funds except to the extent of her proportionate pecuniary interests
therein. The numbers listed above reflect the 1:9 Reverse Stock Split that
became effective June 26, 2003.
Mr. Garrett Gruener is a general partner of Alta California Management Partners,
L.P. (which is the general partner of Alta California Partners, L.P.) and a
member of Alta Embarcadero Partners, LLC. Thus he shares voting and dispositive
powers over the 712,383 shares of Common Stock beneficially owned by Alta
California Partners L.P. and 16,275 shares of Common stock beneficially owned by
Alta Embarcadero Partners LLC. He disclaims beneficial ownership of all such
shares held by all of the foregoing funds except to the extent of his
proportionate pecuniary interests therein. The numbers listed above reflect the
1:9 Reverse Stock Split that became effective June 26, 2003.
Dr. Alix Marduel is a managing director of Alta BioPharma Management Partners
II, LLC (which is the general partner of Alta BioPharma Partners II, L.P.) and a
manager of Alta Embarcadero BioPharma Partners II, LLC. Thus she currently
shares voting and dispositive powers over the 1,429,362 shares of Common Stock
beneficially owned by Alta BioPharma Partners II, L.P. and the 52,581 shares of
Common Stock beneficially owned by Alta Embarcadero BioPharma Partners II, LLC.
She disclaims beneficial ownership of all such shares held by all of the
foregoing funds except to the extent of her proportionate pecuniary interests
therein. The numbers listed above reflect the 1:9 Reverse Stock Split that
became effective June 26, 2003.
Mr. Guy Nohra is a general partner of Alta California Management Partners, L.P.
(which is the general partner of Alta California Partners, L.P.). Thus he shares
voting and dispositive powers over the 712,383 shares of Common Stock
beneficially owned by Alta California Partners L.P. He disclaims beneficial
ownership of all such shares held by all of the foregoing funds except to the
extent of his proportionate pecuniary interests therein. The numbers listed
above reflect the 1:9 Reverse Stock Split that became effective June 26, 2003.
Alta Partners and Alta Partners II, Inc. are venture capital firms that share an
office in San Francisco. Alta Partners is California Corporation. Alta Partners
II, Inc. is a California Corporation. Alta California Partners, L.P. is a
Delaware Limited Partnership, Alta Embarcadero Partners, LLC is a California
Limited Liability Company, Alta BioPharma Partners II, L.P. is a Delaware
Limited Partnership, and Alta Embarcadero BioPharma Partners II, LLC is a
California Limited Liability Company.
Page 2 of 2 of Attachment A